0001144204-17-033868.txt : 20170623
0001144204-17-033868.hdr.sgml : 20170623
20170623170020
ACCESSION NUMBER: 0001144204-17-033868
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170622
FILED AS OF DATE: 20170623
DATE AS OF CHANGE: 20170623
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Oxford Lane Capital Corp.
CENTRAL INDEX KEY: 0001495222
IRS NUMBER: 272859071
STATE OF INCORPORATION: MD
FISCAL YEAR END: 0331
BUSINESS ADDRESS:
STREET 1: 8 SOUND SHORE DRIVE
STREET 2: SUITE 255
CITY: GREENWICH
STATE: CT
ZIP: 06830
BUSINESS PHONE: (203) 983-5275
MAIL ADDRESS:
STREET 1: 8 SOUND SHORE DRIVE
STREET 2: SUITE 255
CITY: GREENWICH
STATE: CT
ZIP: 06830
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ROSENTHAL SAUL B
CENTRAL INDEX KEY: 0001268529
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-22432
FILM NUMBER: 17928272
MAIL ADDRESS:
STREET 1: 8 SOUND SHORE DR STE 215
CITY: GREENWICH
STATE: CT
ZIP: 06830
4
1
v469506_4.xml
OWNERSHIP DOCUMENT
X0306
4
2017-06-22
0
0001495222
Oxford Lane Capital Corp.
OXLC
0001268529
ROSENTHAL SAUL B
C/O OXFORD LANE CAPITAL CORP.
8 SOUND SHORE DRIVE SUITE 255
GREENWICH
CT
06830
1
1
0
0
President
Common Stock
2017-06-22
4
P
0
20000
9.79
A
130000
D
7.50% Series 2023 Term Preferred Stock
22222
D
The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $9.61 to $9.84, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.
/s/ Saul B. Rosenthal
2017-06-23